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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Pre-Employment Checks Policy (including DBS & References)

1. Purpose

This policy outlines how {{org_field_name}} conducts comprehensive and legally compliant pre-employment checks for all prospective employees, including Registered Nurses (RNs) and Healthcare Assistants (HCAs) working on zero-hours contracts in care homes. Ensuring that staff are suitable, qualified, and safe to work with vulnerable adults is paramount to maintaining the quality, safety, and integrity of the services we provide.

2. Scope

This policy applies to all individuals applying to work for {{org_field_name}}, regardless of role, contract type, or length of assignment. It covers:

• Permanent and temporary staff
• Bank staff and zero-hours staff
• Volunteers (if applicable)
• Agency workers supplied directly to clients via {{org_field_name}}

This policy may be provided to clients, commissioners, contracting authorities, enforcement authorities and other organisations where this is necessary to demonstrate {{org_field_name}}’s compliance with its legal obligations as an employment business and personnel supplier.

3. Related Policies

• Recruitment Policy
• Equality, Diversity and Inclusion Policy
• Safeguarding Policy
• Data Protection and Confidentiality Policy
• Whistleblowing Policy
• Health and Safety Policy
• Staff Supervision and Appraisal Policy

4. Legal Framework

{{org_field_name}} will carry out pre-employment and pre-assignment checks in accordance with the legislation applicable to an employment business supplying temporary workers in England, including, where relevant:

• Employment Agencies Act 1973;
• Conduct of Employment Agencies and Employment Businesses Regulations 2003, as amended;
• Safeguarding Vulnerable Groups Act 2006, as amended;
• Protection of Freedoms Act 2012;
• Police Act 1997 and regulations made under it relating to criminal record certificates and barred-list information;
• Rehabilitation of Offenders Act 1974 and the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, as amended;
• Immigration, Asylum and Nationality Act 2006 and applicable right-to-work legislation;
• Equality Act 2010;
• UK General Data Protection Regulation;
• Data Protection Act 2018, as amended;
• Data (Use and Access) Act 2025;
• Agency Workers Regulations 2010;
• Employment Rights Act 1996, as amended; and
• the Disclosure and Barring Service Code of Practice where applicable.

Where {{org_field_name}} supplies a work-seeker to a position involving work with, care for or attendance on a vulnerable person, it will also comply with the additional suitability-checking requirements imposed on employment businesses by regulation 22 of the Conduct of Employment Agencies and Employment Businesses Regulations 2003.

{{org_field_name}} operates as a temporary staffing agency/employment business and does not itself carry on a regulated activity requiring registration with the Care Quality Commission. The regulatory obligations of a client care provider do not become obligations of {{org_field_name}} merely because {{org_field_name}} supplies workers to that provider.

5. Types of Pre-Employment Checks Conducted

5.1 Identity Verification

{{org_field_name}} will verify the identity of each work-seeker before the individual is approved for an assignment.

Candidates must provide appropriate evidence of identity relevant to the checks being undertaken. Depending upon the particular check, acceptable evidence may include:

• a current passport;
• a birth or adoption certificate together with other required identity evidence;
• a current UK or Irish photocard driving licence; or
• other identity documentation permitted under the applicable Home Office or Disclosure and Barring Service checking requirements.

Identity documents will be checked for consistency with the individual’s personal details and, where appropriate, against other documentation supplied during recruitment.

Identity verification for Disclosure and Barring Service purposes will be undertaken in accordance with the identity-checking requirements applicable to the DBS application being made.

Identity verification under this section is separate from the statutory right-to-work check described in section 5.2. A physical Biometric Residence Permit will not be accepted as evidence of a person’s right to work where Home Office guidance requires that person’s immigration status to be verified using the online right-to-work service.

Copies or records of identity documentation will only be retained where there is a lawful and necessary reason to do so and will be handled in accordance with section 7 of this policy.

5.2 Right to Work Checks

{{org_field_name}} will establish every person’s right to work in the United Kingdom before permitting that person to commence work for {{org_field_name}}.

Right-to-work checks will be undertaken without unlawful discrimination and irrespective of a person’s race, nationality or ethnic or national origins.

The check will be completed using one of the checking methods permitted by current Home Office requirements, as applicable to the individual. This may include:

• a Home Office online right-to-work check using the individual’s share code;
• a prescribed manual document check where the individual is entitled to establish their right to work using acceptable original documents;
• an identity verification process through an Identity Service Provider where that method is legally available for the individual concerned; or
• verification through the Home Office Employer Checking Service where the circumstances require it.

A video call or a copy of a document will not, by itself, be treated as establishing a statutory right to work.

Where an online Home Office check is required, {{org_field_name}} will access the Home Office employer checking service using the share code supplied by the individual and will verify that the photograph and personal details shown by the service relate to the person being recruited.

Physical Biometric Residence Permits will not be accepted as proof of right to work where the Home Office requires immigration status to be demonstrated through the online service.

Where a manual right-to-work check is lawfully available, {{org_field_name}} will follow the document-checking and copying requirements prescribed by the Home Office.

Where the individual’s right to work is time limited, {{org_field_name}} will record the expiry or follow-up date and complete any further check required by law before the statutory excuse expires.

Where appropriate, {{org_field_name}} will obtain a Positive Verification Notice from the Home Office Employer Checking Service before permitting work to commence or continue.

Evidence of the right-to-work check, including the date on which it was undertaken, will be retained for the period required by the applicable right-to-work legislation and Home Office requirements.

5.3 Qualification Verification

Candidates applying for roles that require professional qualifications (e.g., Registered Nurses) must provide:

• Original certificates of qualifications
• Evidence of registration with the Nursing and Midwifery Council (NMC)
• Continuous Professional Development (CPD) records, if applicable

Verification is carried out through:

• The NMC Register
• Cross-referencing certificates with awarding bodies if necessary

5.4 Employment History & Gap Explanation

Applicants must provide a full employment history, accounting for any gaps of more than four weeks. Gaps must be explained in writing and may require evidence (e.g., travel, caring responsibilities, illness).

5.5 References

Where a work-seeker is to be supplied to a position involving work with, care for or attendance on a vulnerable person, {{org_field_name}} will comply with regulation 22 of the Conduct of Employment Agencies and Employment Businesses Regulations 2003.

For those assignments, {{org_field_name}} will obtain two references from persons who are not relatives of the work-seeker. The referees must agree that the references they provide may be disclosed to the hirer, and {{org_field_name}} will offer to provide copies of those references to the hirer.

As an internal recruitment requirement, {{org_field_name}} will normally seek employment references covering at least the previous three years, including:

• a reference from the applicant’s most recent employer; and
• where the applicant has previously worked in health or social care, a reference relating to relevant health or social care employment where reasonably obtainable.

References will be obtained and assessed for authenticity and relevance to the proposed role.

A personal or character reference may only be treated as one of the references required under regulation 22 where it satisfies the statutory requirements, including that the referee is not a relative of the work-seeker and has agreed that the reference may be disclosed to the hirer.

Where, despite taking all reasonably practicable steps, {{org_field_name}} is unable to obtain all of the references or other information required by regulation 22, the individual will not be supplied unless the statutory requirements permitting supply in those circumstances have been satisfied. {{org_field_name}} will:

• comply with the requirements to the extent that it is able to do so;
• inform the hirer that all reasonably practicable steps were taken but full compliance was not possible; and
• provide the hirer with details of the steps taken to obtain the outstanding information.

References and records of verification will be retained in accordance with the applicable data-protection and record-retention requirements.

5.6 Disclosure and Barring Service (DBS) Checks

{{org_field_name}} will determine the legally permitted level of DBS check separately for each role or category of role by reference to the duties that the individual will undertake.

{{org_field_name}} will only request a Standard, Enhanced or Enhanced DBS check with barred-list information where the position is legally eligible for that level of check.

Where the proposed duties constitute regulated activity with adults, {{org_field_name}} will obtain or verify an Enhanced DBS check with the Adults’ Barred List before permitting the individual to undertake that regulated activity, subject to the applicable statutory framework.

An Adults’ Barred List check will not be requested solely because an applicant works in healthcare, social care or a care-home environment. The individual’s actual duties must make the position legally eligible for barred-list information.

Where the role does not constitute regulated activity but is eligible for another level of criminal-record check, {{org_field_name}} will request only the level and type of DBS check for which the role is legally eligible.

No person whom {{org_field_name}} knows to be barred from regulated activity with adults will be supplied or permitted to undertake regulated activity with adults.

Existing DBS Certificates and the Update Service

A DBS certificate does not have an official expiry date. Information shown on a certificate reflects the position at the time the certificate was issued.

{{org_field_name}} will therefore not treat a DBS certificate as legally valid for a fixed three-year period.

Where an applicant is subscribed to the DBS Update Service, {{org_field_name}} may undertake a status check only where:

• the applicant has given permission for the check;
• {{org_field_name}} is legally entitled to obtain the level of criminal-record information concerned;
• the original DBS certificate has been examined as required by DBS rules;
• the certificate is for the appropriate workforce;
• the certificate is at the appropriate level for the proposed role; and
• any barred-list information required for the proposed role is covered by the certificate.

Where the Update Service indicates that information has changed, or where the existing certificate is not of the appropriate level or workforce, {{org_field_name}} will obtain a new DBS check at the appropriate legally permitted level before relying upon it for deployment.

Information Disclosed on a DBS Certificate

A criminal record will not automatically prevent an applicant from being engaged unless the information means that the individual is legally prohibited from undertaking the proposed work.

Where legally permissible, information disclosed on a DBS certificate will be considered on an individual basis, taking account of its relevance to the role and the safeguarding risks involved. The assessment and decision will be documented.

{{org_field_name}} will maintain a written policy on the recruitment of people with a criminal record and will make that policy available to applicants as required by the DBS Code of Practice.

DBS Referral Duties

Where {{org_field_name}}, acting as a personnel supplier or regulated activity provider, has a legal duty under the Safeguarding Vulnerable Groups Act 2006 to refer an individual to the Disclosure and Barring Service, it will make the referral in accordance with the applicable statutory requirements.

A referral to another organisation, including a local authority safeguarding team, professional regulator or the police, will not replace a statutory duty to make a referral to the DBS where that duty applies.

5.7 Occupational Health and Pre-Employment Health Information

{{org_field_name}} will comply with section 60 of the Equality Act 2010 when requesting health or disability information from an applicant.

Before an offer of work has been made, {{org_field_name}} will not ask an applicant general questions about their health, medical history, disability, sickness absence or fitness for work except where a question is permitted by law.

Before an offer is made, health or disability questions may only be asked where they are necessary for a lawful purpose, including:

• establishing whether reasonable adjustments are required to enable the applicant to participate in an assessment or recruitment process;
• establishing whether the applicant will be able to carry out a function that is intrinsic to the work, taking account of any duty to make reasonable adjustments; or
• another purpose expressly permitted by section 60 of the Equality Act 2010.

After a conditional or unconditional offer of work has been made, {{org_field_name}} may obtain health information where it is necessary and lawful to establish fitness for the proposed role, identify any required workplace adjustments or meet occupational-health requirements relevant to the work.

Where relevant to the duties of the proposed role, post-offer occupational-health assessment may include consideration of:

• fitness to perform the relevant duties safely;
• occupational immunisation requirements relevant to the proposed clinical work; and
• reasonable adjustments required because of disability or another health condition.

Any decision made using health information will comply with the Equality Act 2010, including the duty to make reasonable adjustments where applicable.

Health information will be treated as special-category personal data and will only be obtained, used, disclosed and retained where {{org_field_name}} has an applicable lawful basis and an applicable condition for processing special-category data under data-protection legislation.

5.8 Statutory Suitability Checks for Vulnerable-Person Assignments

Where a work-seeker is to be supplied to a hirer to undertake a position involving work with, care for or attendance on a vulnerable person, {{org_field_name}} will comply with regulation 22 of the Conduct of Employment Agencies and Employment Businesses Regulations 2003 before supplying that individual.

{{org_field_name}} will:

• obtain copies of any relevant qualifications or authorisations required for the position and offer to provide copies of those documents to the hirer;
• obtain two references from persons who are not relatives of the work-seeker and who have agreed that the references may be disclosed to the hirer, and offer to provide copies of those references to the hirer; and
• take all other reasonably practicable steps to confirm that the work-seeker is suitable for the position concerned.

Where the work-seeker is required by law or by a professional body to hold a particular qualification, registration or authorisation, {{org_field_name}} will verify that requirement before supply and will take all other reasonably practicable steps required by regulation 22 to confirm suitability.

Where {{org_field_name}} has taken all reasonably practicable steps to obtain information required under regulation 22 but has been unable to comply fully, the work-seeker will only be supplied where the statutory conditions permitting supply have been satisfied. In such circumstances {{org_field_name}} will:

• comply with the requirements to the extent reasonably practicable;
• inform the hirer that full compliance was not possible; and
• tell the hirer what steps {{org_field_name}} took in an attempt to obtain the outstanding information.

No work-seeker will be supplied where the information available to {{org_field_name}} establishes that the individual is legally prohibited from undertaking the work or is otherwise unsuitable for the position.

6. Management of Pre-Employment Checks

All pre-employment checks are the direct responsibility of the director(s) of {{org_field_name}}. The process is managed efficiently through:

• A pre-employment checklist maintained for every applicant
• A secure recruitment file maintained for each applicant
• Periodic audits conducted by the director to verify compliance
• Continuous monitoring to ensure legislative and best practice updates are reflected promptly in procedures

The director(s) will:

• Ensure checks are completed before the individual starts any assignment
• Prevent deployment if checks are incomplete or unsatisfactory
• Record the final approval of each candidate on the pre-employment checklist
• Undertake annual refresher training on safer recruitment practices

7. Confidentiality and Data Protection

All personal information obtained as part of recruitment, pre-employment checking and assignment suitability will be processed in accordance with the UK General Data Protection Regulation, the Data Protection Act 2018 as amended, including applicable amendments made by the Data (Use and Access) Act 2025, and {{org_field_name}}’s Data Protection and Confidentiality Policy.

{{org_field_name}} will ensure that personal data is:

• processed lawfully, fairly and transparently;
• collected only for specified and legitimate purposes;
• limited to information that is adequate, relevant and necessary for those purposes;
• kept accurate and, where necessary, up to date;
• retained for no longer than is necessary or legally required; and
• protected by appropriate organisational and technical security measures.

Appropriate access controls will be applied so that recruitment information is available only to persons who require access for an authorised purpose.

Health Information

Information concerning an individual’s physical or mental health is special-category personal data. {{org_field_name}} will only process such information where an appropriate lawful basis under data-protection legislation and an appropriate special-category processing condition apply.

Criminal Records and DBS Information

Information concerning criminal convictions, offences, cautions, barred-list status and DBS certificates will only be processed where {{org_field_name}} has lawful authority to process that information and, where applicable, to ask the relevant exempted question.

DBS information will:

• only be used for the purpose for which it was obtained;
• only be disclosed to persons who are legally entitled to receive it;
• be stored securely with access restricted to authorised persons; and
• be destroyed securely when it is no longer necessary to retain it.

Unless exceptional circumstances justify a longer period and the applicable DBS requirements permit this, {{org_field_name}} will not normally retain a copy of a DBS certificate or DBS certificate information for longer than six months after the relevant recruitment or suitability decision has been completed.

Where permitted, {{org_field_name}} may retain a record of:

• the date of issue of a DBS certificate;
• the name of the individual;
• the type and level of check undertaken;
• the position for which the check was requested;
• the DBS certificate reference number; and
• the recruitment or suitability decision.

DBS information will not be passed to an unauthorised person. {{org_field_name}} recognises that unlawful disclosure of DBS information may constitute an offence under the Police Act 1997.

Retention of Other Recruitment Records

Other recruitment and pre-employment records, including right-to-work evidence, references, qualification checks and occupational-health information, will be retained only for the period required by applicable law or justified under {{org_field_name}}’s documented retention schedule.

8. Staff Training

All staff involved in recruitment, including those conducting interviews or handling pre-employment checks, will receive training on:

• Safer recruitment
• Pre-employment check procedures
• Recognising fraudulent documents
• Data protection responsibilities

Training will be refreshed annually or sooner if legislation changes.

9. Audit and Quality Assurance

The director(s) will:

• Carry out quarterly audits of recruitment files
• Review pre-employment processes for efficiency and compliance
• Record findings and implement any corrective actions
• Report findings to clients, commissioners, enforcement authorities or other authorised bodies where disclosure is required by law or contract and is permitted by data-protection legislation.

10. Responsibilities

Director(s) of {{org_field_name}}

The director(s) are responsible for:

• implementing and monitoring this policy;
• ensuring that legally required pre-employment and pre-assignment checks have been completed before a work-seeker is supplied;
• ensuring that the level of any DBS check requested is legally permitted for the duties of the proposed role;
• ensuring that no individual known to be barred from regulated activity is supplied to undertake regulated activity with the group from which that individual is barred;
• ensuring that qualification, registration, reference and suitability checks required under regulation 22 of the Conduct of Employment Agencies and Employment Businesses Regulations 2003 are completed where applicable;
• ensuring that right-to-work checks and any required follow-up checks are completed using a method permitted by current Home Office requirements;
• considering criminal-record information lawfully, fairly and only insofar as it is relevant to the proposed role;
• ensuring that health or disability questions are only asked in accordance with section 60 of the Equality Act 2010;
• making or ensuring the making of a referral to the Disclosure and Barring Service where {{org_field_name}} is subject to a statutory duty to refer;
• ensuring that personal information obtained through recruitment checks is processed and retained lawfully; and
• maintaining appropriate knowledge of changes to legislation affecting recruitment, employment businesses, safeguarding, DBS checks and right-to-work requirements.

Recruitment Staff

Any staff involved in recruitment or compliance checks must:

• follow the procedures contained in this policy;
• obtain only information that {{org_field_name}} is legally entitled to obtain;
• verify documents and information in accordance with the applicable statutory or regulatory requirements;
• immediately escalate discrepancies, safeguarding concerns, suspected fraudulent documentation or questions about an applicant’s eligibility for deployment to a director or authorised manager; and
• maintain the confidentiality and security of recruitment information.

Applicants and Agency Workers

Applicants and agency workers must:

• provide accurate and complete information reasonably required for lawful recruitment and suitability checks;
• cooperate with lawful identity, right-to-work, qualification, professional-registration, reference and DBS checking requirements;
• provide original documentation where the applicable checking process requires an original document;
• comply with any lawful requirement to provide evidence necessary to demonstrate continuing entitlement to work; and
• notify {{org_field_name}} promptly of any change that may legally affect their ability or entitlement to undertake an assignment, including any restriction, suspension or removal of a professional registration, any loss or restriction of the right to work, or any safeguarding or barring matter relevant to the work they undertake.

Nothing in this section requires an individual to disclose health information or criminal-record information that {{org_field_name}} is not legally entitled to request.

11. Policy Review

This policy will be reviewed annually by the director(s) of {{org_field_name}} or sooner if:

Lessons from audits or incidents indicate a need for improvement

There are changes in legislation or guidance

There are significant organisational changes

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Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.